Morgan Stanley & Co. LLC MASTER AGREEMENT AMONG UNDERWRITERS REGISTERED SEC OFFERINGS (INCLUDING MULTIPLE SYNDICATE OFFERINGS) AND EXEMPT OFFERINGS (OTHER THAN OFFERINGS OF MUNICIPAL SECURITIES)Master Agreement • August 22nd, 2016 • Nuveen High Income November 2021 Target Term Fund • New York
This Master Agreement Among Underwriters (this “Master AAU”), dated as of October 1, 2012, is by and between Morgan Stanley & Co. LLC (“Morgan Stanley,” or “we”) and the party named on the signature page hereof (an “Underwriter,” as defined in Section 1.1 hereof, or “you”). From time to time we or one or more of our affiliates may invite you (and others) to participate on the terms set forth herein as an underwriter or an initial purchaser, or in a similar capacity, in connection with certain offerings of securities that are managed solely by us or with one or more other co-managers. If we invite you to participate in a specific offering and sale of securities (an “Offering”) to which this Master AAU will apply, we will send the information set forth in Section 1.1 hereof to you by one or more wires, telexes, telecopy or electronic data transmissions, or other written communications (each, a “Wire,” and collectively, an “AAU”), unless you are otherwise deemed to have accepted an AAU wi
STRUCTURING FEE AGREEMENTStructuring Fee Agreement • January 26th, 2017 • Nuveen High Income November 2021 Target Term Fund • New York
Reference is made to the Underwriting Agreement dated January [ ● ], 2017 (the “Underwriting Agreement”), by and among Nuveen Preferred and Income 2022 Term Fund (the “Fund”), Nuveen Fund Advisors, LLC (the “Company”), Nuveen Asset Management, LLC and each of the Underwriters named in Exhibit A thereto, with respect to the issue and sale of the Fund’s common shares of beneficial interest, $0.01 par value per share (the “Common Shares”), as described therein (the “Offering”). Capitalized terms used herein and not otherwise defined shall have the meanings given to them in the Underwriting Agreement.
Morgan Stanley & Co. LLC MASTER SELECTED DEALERS AGREEMENT REGISTERED SEC OFFERINGS AND EXEMPT OFFERINGS (OTHER THAN OFFERINGS OF MUNICIPAL SECURITIES)Master Selected Dealers Agreement • August 26th, 2016 • Nuveen High Income November 2021 Target Term Fund • New York
This Master Selected Dealers Agreement (this “Master SDA”), dated as of June 1, 2011, is by and between Morgan Stanley & Co. LLC (including its successors and assigns) (“we,” “our,” “us” or the “Manager”) and the party named on the signature page hereof (a “Dealer,” “you” or “your”). From time to time, in connection with an offering and sale (an “Offering”) of securities (the “Securities”), managed solely by us or with one or more other managers or co-managers, we or one or more of our affiliates may offer you (and others) the opportunity to purchase as principal a portion of such securities on the terms set forth herein as a Selected Dealer (as defined below).
STRUCTURING FEE AGREEMENTStructuring Fee Agreement • August 26th, 2016 • Nuveen High Income November 2021 Target Term Fund • New York
Reference is made to the Underwriting Agreement dated August 23, 2016 (the “Underwriting Agreement”), by and among Nuveen High Income November 2021 Target Term Fund (the “Fund”), Nuveen Fund Advisors, LLC (the “Investment Manager”), Nuveen Asset Management, LLC and each of the Underwriters named therein (the “Underwriters”), severally, with respect to the issue and sale of the Fund’s common shares of beneficial interest, par value $0.01 (the “Common Shares”), as described therein (the “Offering”). Capitalized terms used herein and not otherwise defined shall have the meanings given to them in the Underwriting Agreement.
INVESTMENT MANAGEMENT AGREEMENTInvestment Management Agreement • August 3rd, 2016 • Nuveen High Income November 2021 Target Term Fund • Illinois
AGREEMENT made this 11th day of February, 2016, by and between NUVEEN HIGH INCOME NOVEMBER 2021 TARGET TERM FUND, a Massachusetts business trust (the “Fund”), and NUVEEN FUND ADVISORS, LLC a Delaware limited liability company (the “Adviser”).
STRUCTURING AND SYNDICATION FEE AGREEMENTStructuring and Syndication Fee Agreement • August 26th, 2016 • Nuveen High Income November 2021 Target Term Fund • New York
This agreement is between Nuveen Fund Advisors, LLC (the “Company”) and Morgan Stanley & Co. LLC (“Morgan Stanley”) with respect to Nuveen High Income November 2021 Target Term Fund (the “Fund”).
NUVEEN OPEN-END AND CLOSED-END FUNDS DEFERRED COMPENSATION PLAN FOR INDEPENDENT DIRECTORS AND TRUSTEES (As Amended and Restated Effective January 1, 2013)Nuveen High Income November 2021 Target Term Fund • February 23rd, 2016 • Illinois
STRUCTURING FEE AGREEMENTStructuring Fee Agreement • August 26th, 2016 • Nuveen High Income November 2021 Target Term Fund • New York
This agreement (the “Agreement”) is between Nuveen Fund Advisors, LLC (including any successor or assign by merger or otherwise, the “Company”) and UBS Securities LLC (“UBS”) with respect to Nuveen High Income November 2021 Target Term Fund (the “Fund”). Capitalized terms used herein and not otherwise defined shall have the meanings given to them in the Underwriting Agreement dated August 23, 2016 (the “Underwriting Agreement”), by and among the Fund, the Company, Nuveen Asset Management, LLC and each of the underwriters named therein.
STRUCTURING FEE AGREEMENTStructuring Fee Agreement • January 26th, 2017 • Nuveen High Income November 2021 Target Term Fund • New York
Reference is made to the Underwriting Agreement dated January [ ● ], 2017 (the “Underwriting Agreement”), by and among Nuveen Preferred and Income 2022 Term Fund (the “Trust”), Nuveen Fund Advisors, LLC (the “Adviser”), Nuveen Asset Management, LLC, Stifel, Nicolaus & Company, Incorporated (“Stifel”) and each of the other Underwriters named therein, severally, with respect to the issue and sale of the Trust’s common shares of beneficial interest, par value $0.01 (the “Common Shares”), as described therein (the “Offering”). Capitalized terms used herein and not otherwise defined shall have the meanings given to them in the Underwriting Agreement.
STRUCTURING FEE AGREEMENTStructuring Fee Agreement • August 29th, 2016 • Nuveen High Income November 2021 Target Term Fund • New York
Reference is made to the Underwriting Agreement dated August 23, 2016 (the “Underwriting Agreement”), by and among Nuveen High Income November 2021 Target Term Fund (the “Fund”), Nuveen Fund Advisors, LLC (the “Company”), Nuveen Asset Management, LLC and each of the Underwriters named in Schedule I thereto, with respect to the issue and sale (the “Offering”) of the Fund’s common shares of beneficial interest, $0.01 par value per share (the “Common Shares”), as described therein. Capitalized terms used herein and not otherwise defined shall have the meanings given to them in the Underwriting Agreement.
Transfer Agency and Service Agreement Among Each of the Nuveen Closed End Investment Companies Listed on Exhibit A Hereto and State Street Bank and Trust CompanyTransfer Agency and Service Agreement • February 23rd, 2016 • Nuveen High Income November 2021 Target Term Fund • Massachusetts
AGREEMENT made as of the 7th day of October, 2002, by and among each of the Nuveen closed-end investment companies listed on Exhibit A hereto, which may be amended from time to time, each being either a Minnesota corporation or a Massachusetts business trust as indicated on Exhibit A (each a “Fund” or the “Fund”), and State Street Bank and Trust Company, a Massachusetts trust company, having a principal office and place of business at 225 Franklin Street, Boston, Massachusetts 02110 (the “Transfer Agent”).
AMENDMENT To Transfer Agency and Service Agreement Between Each of the Nuveen Closed-End Investment Companies Listed on Exhibit A to the Agreement And State Street Bank and Trust CompanyAgency and Service Agreement • February 23rd, 2016 • Nuveen High Income November 2021 Target Term Fund
This Amendment is made as of this 15th day of July 2015 to the Transfer Agency and Service Agreement dated October 7, 2002, as amended (the “Agreement”) between each of the Nuveen Closed-End Investment Companies Listed on Exhibit A to the Agreement (collectively, the “Funds”) and State Street Bank and Trust Company (the “Transfer Agent”). In accordance with Section 16.1 (Amendment) of the Agreement, the parties desire to amend the Agreement as set forth herein.
INVESTMENT SUB-ADVISORY AGREEMENT (Nuveen High Income November 2021 Target Term Fund (JHB))Sub-Advisory Agreement • August 3rd, 2016 • Nuveen High Income November 2021 Target Term Fund • Illinois
THIS AGREEMENT is made as of the 11th day of February 2016, between Nuveen Fund Advisors, LLC, a Delaware limited liability company (the “Adviser”), and Nuveen Asset Management, LLC, a Delaware limited liability company (the “Sub-Adviser”).
STRUCTURING FEE AGREEMENTStructuring Fee Agreement • August 23rd, 2016 • Nuveen High Income November 2021 Target Term Fund • New York
Reference is made to the Underwriting Agreement dated August [ ], 2016 (the “Underwriting Agreement”), by and among Nuveen High Income November 2021 Target Term Fund (the “Fund”), Nuveen Fund Advisors, LLC (the “Investment Manager”), Nuveen Asset Management, LLC and each of the Underwriters named therein (the “Underwriters”), severally, with respect to the issue and sale of the Fund’s common shares of beneficial interest, par value $0.01 (the “Common Shares”), as described therein (the “Offering”). Capitalized terms used herein and not otherwise defined shall have the meanings given to them in the Underwriting Agreement.
MARKETING FEE AGREEMENTMarketing Fee Agreement • August 26th, 2016 • Nuveen High Income November 2021 Target Term Fund • New York
Reference is made to the Underwriting Agreement dated August 23, 2016 (the “Underwriting Agreement”), by and among Nuveen High Income November 2021 Target Term Fund (the “Fund”), Nuveen Fund Advisors, LLC (the “Company”), Nuveen Asset Management, LLC and each of the Underwriters named in Schedule I thereto, with respect to the issue and sale (the “Offering”) of the Fund’s common shares of beneficial interest, $0.01 par value per share (the “Common Shares”), as described therein. Capitalized terms used herein and not otherwise defined shall have the meanings given to them in the Underwriting Agreement.
AMENDMENT To Transfer Agency and Service Agreement Between Each of the Nuveen Closed-End Investment Companies Listed on Schedule A to the Agreement And State Street Bank and Trust CompanyTransfer Agency and Service Agreement • August 22nd, 2016 • Nuveen High Income November 2021 Target Term Fund
This Amendment is made as of this 1st day of August, 2016, to the Transfer Agency and Service Agreement dated October 7, 2002, as amended (the “Agreement”) between each of the Nuveen Closed-End Investment Companies Listed on Schedule A to the Agreement (collectively, the “Funds”) and State Street Bank and Trust Company (the “Transfer Agent”). In accordance with Section 17.1 (Amendment) of the Agreement, the parties desire to amend the Agreement as set forth herein.
STRUCTURING FEE AGREEMENTStructuring Fee Agreement • January 26th, 2017 • Nuveen High Income November 2021 Target Term Fund • New York
Reference is made to the Underwriting Agreement dated January [ ● ], 2017 (the “Underwriting Agreement”), by and among Nuveen Preferred and Income 2022 Term Fund (the “Fund”), Nuveen Fund Advisors, LLC (the “Company”), Nuveen Asset Management, LLC and each of the Underwriters named in Exhibit A thereto, with respect to the issue and sale (the “Offering”) of the Fund’s common shares of beneficial interest, $0.01 par value per share (the “Common Shares”), as described therein. Capitalized terms used herein and not otherwise defined shall have the meanings given to them in the Underwriting Agreement.
NUVEEN HIGH INCOME NOVEMBER 2021 TARGET TERM FUND Subscription AgreementSubscription Agreement • February 23rd, 2016 • Nuveen High Income November 2021 Target Term Fund
This Agreement made this February 8, 2016 by and between Nuveen High Income November 2021 Target Term Fund, a Massachusetts business trust (the “Fund”), and Nuveen Fund Advisors, LLC (the “Subscriber”);
